IMEC.ICON MANUAL CALL 2019-1

 
IMEC.ICON MANUAL CALL 2019-1
IMEC.ICON MANUAL
    CALL 2019-1
IMEC.ICON MANUAL CALL 2019-1
Table of Contents
1     Context and Objective ........................................................................................................................................................ 2
2     Characteristics of imec.icon Projects............................................................................................................................... 3
    2.1        Demand-driven ............................................................................................................................................................ 3
    2.2        Within the Scope of the imec market segments ................................................................................................. 3
    2.3        The Consortium .......................................................................................................................................................... 3
    2.4        Economic, Cultural and/or Social Added Value ................................................................................................... 5
    2.5        Delivering Demonstrators ........................................................................................................................................ 5
    2.6        Formal Characteristics ............................................................................................................................................... 5
3     Selection and Evaluation Procedure ................................................................................................................................. 6
    3.1        Submission and evaluation of the extended abstract ......................................................................................... 6
    3.2        Submission and evaluation of the full proposal .................................................................................................... 8
    3.3        Confidentiality, Resubmission, Reconsideration, Complaint .......................................................................... 12
4     Financing Model ................................................................................................................................................................... 14
    4.1        Minimum Contribution of 50% of The Total Project Cost by the External Partners ............................. 14
    4.2        The Cost Model ......................................................................................................................................................... 14
    4.3        Subcontracting............................................................................................................................................................ 15
5     Agreements concerning cooperation ............................................................................................................................ 16
    5.1        The imec.icon Collaboration Agreement (CA) ................................................................................................. 16
    5.2        The Funding Agreement .......................................................................................................................................... 17
6     Reporting ............................................................................................................................................................................... 19
    6.1        imec.icon Status Report – Progress Report ....................................................................................................... 19
    6.2        Steering Group Minutes .......................................................................................................................................... 19
    6.3        Yearly Financial Reports .......................................................................................................................................... 19
    6.4        End Report .................................................................................................................................................................. 19
    6.5        Overview Reporting ................................................................................................................................................. 20
7     Practical Guidelines for Application ............................................................................................................................... 21
    7.1        Developing an imec.icon idea ................................................................................................................................. 21
    7.2        Submitting an extended abstract ........................................................................................................................... 21
    7.3        Submitting a full proposal ........................................................................................................................................ 21
    7.4        Letter of Intent and confidentiality Agreement ................................................................................................. 22
8     Questions .............................................................................................................................................................................. 23

                                                                                                               imec.icon manual (English) 2019-1                                         1 / 24
1 CONTEXT AND OBJECTIVE
This manual provides an explanation of the imec.icon projects (Interdisciplinary Collaborative
Research).

imec.icon projects are interdisciplinary collaborative projects between external partners and imec.

The imec.icon procedure has been highly tailored to the industrial R&D project procedures from
Agentschap Innoveren & Ondernemen (VLAIO), to allow external partners based in the Flanders or
the Brussels Capital region to apply for respectively VLAIO funding1 or Innoviris funding, embedded
in the imec.icon application. The decision-making procedure is the joint responsibility of VLAIO,
Innoviris and imec. Hereinafter VLAIO and Innoviris will be referred to as regional funding agencies.

imec.icon projects have to comply with imec’s mission, which is to generate an economic and social
added value through excellent research and the creation of human capital within the nanoelectronics
and ICT sectors.

To accomplish this mission, imec wants to:
   - carry out interdisciplinary demand-driven research in an open-innovation context;
   - generate an added value through close collaboration with economic and social players in
       Flanders and in the whole world;
   - support researchers and companies in becoming world players.

One of imec’s major instruments in achieving this goal is imec.icon: by carrying out multidisciplinary
research, imec wants to contribute to overall solutions, combining multiple domains, including not
only technological research, but also legal and societal aspects.

1With support from the Hermesfonds. VLAIO fulfills the operational tasks in name of and on behalf of the
Hermesfonds.

                                                                  imec.icon manual (English) 2019-1        2 / 24
2 CHARACTERISTICS OF IMEC.ICON
  PROJECTS
The main characteristics of imec.icon projects are the following:
   - demand-driven Research & Development;
   - within the scope of the imec market segments;
   - collaborative and interdisciplinary consortium;
   - well-balanced composition of the consortium;
   - economic, cultural and/or societal added value;
   - delivering demonstrators;
   - duration of 2 years;
   - the joint contribution of the subsidized external partners in the project must be larger than
       the joint contribution of the research partners.

Each of these characteristics is clarified below.

2.1 DEMAND-DRIVEN R&D
Interdisciplinary Collaborative Research is based on demand from the (Flemish) social, cultural or
industrial sector or public authorities. Project proposals are realized bottom-up from the perspective
of users and/or stakeholders and executors.

2.2 WITHIN THE SCOPE OF THE IMEC MARKET
    SEGMENTS
The imec.icon projects should be situated in one of imec’ market segments:

     -   ICT
     -   Media and entertainment
     -   Health
     -   Energy
     -   Smart Cities
     -   Mobility and logistics
     -   Manufacturing
     -   Education

A description of these market segments can be found on the imec website.

2.3 THE CONSORTIUM
Projects should always be submitted by a consortium in which several partners may participate. There
is no restriction with respect to organizational structures, i.e. the public sector, non-profit

                                                           imec.icon manual (English) 2019-1     3 / 24
organizations, SMEs, as well as large companies and local branches of multinationals can participate
together with the Research groups 2.

Partners who wish to apply within their imec.icon project proposal for funding with one of the regional
funding agencies should also comply with the guidelines for funding. All companies, from SMEs to small
non-profit organizations or the Flemish or Brussels branch of a multinational company, can submit an
R&D project funding application on the condition that they are a legal entity at the time the funding
agreement is signed. Applicants must also have significant valorization prospects for the results in
(although not exclusively) Flanders -for funding from VLAIO- and in the Brussels Capital Region -for
Innoviris funding.

2.3.1 COLLABORATIVE AND INTERDISCIPLINARY CONSORTIUM
The consortium should have a collaborative and interdisciplinary composition. This implies that a
(sufficient) number of companies or cultural or social institutions take an active part in the project,
together with imec research groups and preferably also with potential clients and users. Furthermore,
there should be a mix of large and small enterprises and, preferably, at least one SME should
participate. In order to maximize the quality and the usability of the research results, the project
should aim at an interdisciplinary collaboration and approach. The participation of representative
actors within the value chain of the project as well as multiple complementary research groups with
different competences guarantees the interdisciplinary nature of the project.

2.3.2 WELL-BALANCED COMPOSITION OF THE CONSORTIUM
The composition of the consortium is based on the complementary roles of the partners in the
research project, i.e., a supplier of technological solutions, a group of customers or users, a company
providing services etc. The consortium should be composed in a balanced way with each partner
providing added value to the success of the project. Each partner’s contribution should be relevant
and in proportion to the size and capacity of the company.

2.3.3 USER GROUP
The consortium can decide to set up a user group if this is useful to the progress of the project. The
user group is a counselling committee with representatives of (a) relevant economic and/or societal
target group(s). Their task is to give advice concerning the progress of the imec.icon project and the
valorization possibilities of the developed Foreground.

A user group is not a project partner and hence cannot apply for funding from VLAIO or from Innoviris
within the imec.icon project nor can they claim the developed Intellectual Property Rights (IPR).

2Meaning of Research groups is: all research groups within the Flemish universities or Strategic research
centers who request imec funding

                                                                 imec.icon manual (English) 2019-1          4 / 24
2.4 ECONOMIC, CULTURAL AND/OR SOCIAL ADDED
    VALUE
The projects must generate an economic, cultural and/or social added value. This means that ‘not for
profit’-projects are also eligible on the condition that added value can be generated for the target
group. For example, social added value can be found in the cultural, healthcare or public sector, etc.

2.5 DELIVERING DEMONSTRATORS
Apart from research results, “demonstrators” should be delivered at the end of a project. By
preference, this is done at one or more users or customers in the market segment of the research
project. A demonstrator is not a solution pilot ready for commercialization, but should be a “proof-
of-concept” test set-up, allowing demonstration of the research results in a setting that is as realistic
as feasible.

2.6 FORMAL CHARACTERISTICS
2.6.1 DURATION OF 2 YEARS
imec.icon projects have a 2-year duration. An extension of the project can be requested to a maximum
of 1 extra year when necessary for the execution of the project. The imec.icon program manager can
approve the motivated request.

2.6.2 MINIMUM CONTRIBUTION OF 50 % BY THE EXTERNAL
      PARTNERS
The joint contribution of the external partners with funding3 in the project should be more than the
joint contribution of the research partners over the total duration and realization of the project4. Imec
will only finance the imec research share in the project.

2.6.3 THE RESEARCH LEADER IS AN IMEC RESEARCH GROUP
      LEADER
The research leader is either an imec research group leader or a person assigned within his/her own
research group. The research leader is the first point of contact from the Research group and will co-
ordinate and lead the research activities.

2.6.4 BALANCED CONSORTIUM
Every external partner’s contribution shall be smaller than 70% of the total contribution of the external
partners.

3 From Agentschap Innoveren en Ondernemen, Innoviris or any other funding agency
4 When calculating the balance, strategic research centers Flanders Make, VIB and VITO need to be left out of
the calculation.

                                                                imec.icon manual (English) 2019-1          5 / 24
3 SELECTION AND EVALUATION
  PROCEDURE

Figure 1: Overview of the 2 phases of the submission procedure: extended abstract and full proposal

3.1 SUBMISSION AND EVALUATION OF THE EXTENDED
    ABSTRACT
3.1.1 SUBMITTING THE EXTENDED ABSTRACT
The extended abstract must be submitted on time in order to be eligible for the submission of a full
proposal. The extended abstract must elaborate following items:

    -   Project idea and innovation objectives, what are the cause and the context of the project?
    -   An explanation concerning the expected social and economic added value of the project.
    -   The consortium: which external partners and Research group(s) are involved? A
        minimum of 1 imec research group is required. For the external partners, a distinction must
        be made between core partners and other partners. Core partners are essential to the project
        in such extent that the full proposal will only be eligible when all core partners mentioned in
        the extended abstract are also included in the full proposal. In the period between the
        submission of the extended abstract and the full proposal, new core partners can join, but
        applicants must consider that the collaborative nature of the consortium will be an important
        criterion for the evaluation of the abstracts. Other external partners also enter into an
        agreement, but if they withdraw their commitment, this goes without a penalty.
    -   The names of the project leader and the research group leader must be mentioned.
    -   In the abstract each partner must clearly demonstrate the added value of his contribution
        to the project as well as the importance of the project for the partner. The Research groups
        will also motivate the importance of the project for their strategy.
    -   Each partner will indicate the expected workload for the project as well as the most important
        milestones / deliverables.

                                                             imec.icon manual (English) 2019-1        6 / 24
The extended abstract must be in English and has to be submitted via the MyProjects platform. More
detailed instructions can be found in the Abstract template on the imec website.

In the following situations, extra documents must handed in:

    -   The project already has been submitted in a previous imec.icon call, requiring a side letter
        resubmission, see also 3.3.2.
    -   A Research group requesting imec funding participates for the first time in an imec.icon call

For more info on these extra documents, please consult the Abstract template on the imec website.

3.1.2 ELIGIBILITY OF THE EXTENDED ABSTRACT
The extended abstracts have to comply with the formal criterions for eligibility, which will be verified
by imec. Only projects with a positive score on every criterion will be eligible for further selection
and evaluation.

           The abstract was submitted using the provided templates
           The proposal was submitted on time
           The prescribed character limit is complied with
           There is a minimum of 2 Research groups of which 1 imec research group
           There is a minimum of 3 independent Flemish industry partners
           The 50/50 rule is complied with (see 4.1)

3.1.3 SHORT PRESENTATION OF THE PROJECT IDEA TO A PANEL
      (“PITCH”)
The consortium will give a short presentation based on the extended abstract to an imec panel. The
most relevant partners of the consortium need to be present, with a maximum of 5 people.

Members of the imec panel will be representatives of imec as well as external experts, appointed by
imec.

There will be a very short presentation (max. 6 minutes), followed by 10 minutes of Q&A. The panel
will then deliberate behind closed doors. The panel members will not be giving personal/direct
feedback to the project submitters afterwards.

Each project is scored on these aspects:
    - Assessment of clearly defined and realistic research objectives;
    - To what extent is the project proposal in line with imec’s vision, mission and strategy?
    - Assessment of the proposed (social and / or economic) valorization of the project
    - Assessment of the composition of the consortium, taking into account the participation of
       core partners, other partners and Research groups.

                                                             imec.icon manual (English) 2019-1     7 / 24
Detailed evaluation criteria are published on the imec website.

3.1.4 DECISION OF ABSTRACT PANEL
The jury of the abstract panel (Panel) will decide on every abstract. This decision can be:

    -   Admission to submit a full proposal
        The Panel decides that the project answers to an existing need. Furthermore, the quality of
        the abstract and the consortium justify investing in a full proposal. This decision however holds
        no guarantee that the project will in fact receive support. In the Full Proposal phase, there will
        be a final selection of all proposals, taking into account the number of eligible proposals, the
        quality (valorization potential and research quality) of the proposals and the available funding.
        The Panel can issue directives for the adjustment of the project and/or the consortium. During
        the final evaluation of the full proposals the level of compliance with these adjustment
        directives will be taken into account.
    -   No admission to submit a full proposal
        The Panel decides that the demand-driven aspect of the project is not demonstrated
        adequately. Furthermore, they can decide that the initial quality of the proposal or the
        consortium is insufficient to justify investing in a full proposal. The consortium will therefore
        not be admitted to submit a full proposal during the current call.

Communicating the decision of the Panel

Each consortium will receive the motivated decision (feedback form) of the Panel by email.

Upon request, a feedback meeting with imec is possible.

3.2 SUBMISSION AND EVALUATION OF THE FULL
    PROPOSAL
Only projects for which an extended abstract was submitted and that received a positive decision of
the Panel are allowed to submit a full proposal. All other proposals are inadmissible.

Firstly, it will be verified whether the projects meet the formal requirements for eligibility (3.2.1).
Special attention will be paid to the fact whether the alterations in the project between abstract and
full proposal are allowed. Only the projects that meet this requirement will be evaluated.

3.2.1 FULL PROPOSAL - ELIGIBILITY
Evaluation of formal eligibility by imec
The eligibility of the proposals will be verified by imec. This evaluation will be carried out by the
imec.icon administration and management. Only projects with a positive score on every criterion will
be eligible for further selection and evaluation.

                                                             imec.icon manual (English) 2019-1       8 / 24
An eligible extended abstract was submitted
          The consortium was given admission to submit a full proposal
          A LOI for each partner was submitted
          The file contains enough information to start the scientific evaluation
          The file contains enough information to assess the valorization potential (general
          information + more detailed info for partners requesting funding)?
          The proposal was submitted on time
          The 50/50 rule is complied with (see 4.1)
          The research leader is an imec research group leader or someone appointed
          within his/her group
          There is no current imec.icon evaluation procedure for this proposal
          The prescribed maximum number of characters is complied with

Possible alterations in the Full proposal in relation to the abstract
The project idea, including the project context and the innovation objectives cannot be altered in the
full proposal in comparison to the abstract. Refinements and a more detailed explanation are allowed.

The valorization path needs to remain the same in essence, the business case can however be refined.

The proposed core partners within the consortium must remain, other (non-core) partners may opt
out, be replaced or be added.

New partners – both core and other – are allowed to enter the project in the phase between abstract
and full proposal.

The full proposal takes into account the advice and the directives that the imec management board
sends to the consortium along with the admission to submit a full proposal.

The budget of the Research groups in the full proposal must be in line with the budgets (represented
by person-months) specified in the abstract.

The full proposal takes into account with the advice and guidelines from the imec direction committee
as provided to the consortium together with the authorization to submit a full proposal.

The final assessment on whether the proposal meets all the requested formal criteria is an
unambiguous YES or NO.

Early start of the project by imec
For reasons of effective collaboration, it is important for the project members to aim for a
synchronisation of the start date.

                                                           imec.icon manual (English) 2019-1     9 / 24
If a partner is considering starting early, this must be discussed with your imec Innovation Manager.
This is the primary contact person between imec and the consortium.

The start date of the imec.icon project is October 1st 2019. External partners may start earlier on
their own risk (at earliest the first day of the month following the submission of an eligible project at
VLAIO, i.e. June 1st 2019). This is a project start ‘on their own risk’. ‘On their own risk’ means that in
case the project is not approved, they can’t reclaim the costs within the scope of financial support.
Nor is there a condition stipulating that the Research groups have to start as well.

Eligibility of the regional funding agencies
The regional funding agencies decide on the eligibility for funding applications and will communicate
their decision to the project leader.

3.2.2 FULL PROPOSAL - EVALUATION
An expert committee will evaluate the full proposals after an oral defense from the consortium. The
committee is composed of experts appointed by the Hermes committee. It is recommended to have
one representative per partner present during the defense.

One week before the oral defense, the consortium will receive a report with the most important
comments and questions from the experts. This gives the consortium the time to prepare for the
defense.

During the oral part the consortium will present the project shortly followed by a Q&A. Afterwards,
the committee will evaluate and score the project behind closed doors. The experts will not give any
personal or direct feedback to the consortium.

The evaluation criteria are:

    -   Goals
    -   Potential to achieve the goals
    -   Impact
    -   Potential to achieve the impact
    -   Additionality

The experts’ decision will be included in a recommendation.

Evaluation Grid
Each project will be judged as a whole, taking into account possible amendments provided during the
evaluation process.

A positive advice can also be made subject to specific conditions that have to be fulfilled at the start
or during the project. These conditions can either be organizational, financial or with respect to
content.

                                                            imec.icon manual (English) 2019-1       10 / 24
The evaluation criteria are aligned with those of VLAIO R&D projects.

Consultation meeting imec - regional funding agencies
During a consultation meeting with imec and the regional funding agencies, the referee reports and
the applicants’ answers will be discussed and a recommendation will be drawn up based on the
evaluation grid.

Final Approval/Decision
Based on all available information, including the recommendations of the external experts, a report
will be drawn up, containing the information on the project (with emphasis on the innovation purpose),
the evaluation and a budget proposal. For those projects requesting funding, the valorization potential
will also be evaluated extensively. Concerning possible funding from VLAIO, these projects will be
assessed according to the regular selection mechanism for company R&D funding. Depending on their
scores, projects will be classified in different priority categories. The Hermesfonds and Innoviris
Boards of Directors will decide whether or not to grant respectively VLAIO or Innoviris funding and
will advise imec on whether or not to grant funding.

Subsequently the decisions of the Boards of Directors will be communicated to the imec Executive
Board, which will then decide on possible imec funding.

The recommendation of the regional funding agencies on imec.icon evaluations is binding as far as the
quality classification goes, and the imec Executive Board will respect these classifications (as well as
the recommended ranking when given) when making its selection, in conformity with imec’s budgetary
limits and R&D portfolio.

Relation imec.icon – R&D Application
The evaluation of the imec.icon application is an evaluation of the complete proposal and is the
responsibility of imec. If there is a funding application with a regional funding agency embedded in the
imec.icon file, that funding application is the sole responsibility of that regional funding agency. The
general regulatory process for that regional funding agency’s R&D projects will therefore be applicable
in full on this segment.

However, it should be noted that participation in an imec.icon project by an external partner should
not depend on whether or not that partner will receive funding, as this would jeopardize the efforts
of the consortium as a whole.

Below, we have listed a number of possible (theoretical) combinations of decisions. If the application
for funding receives a positive evaluation, the funding can only be allocated definitely when the
imec.icon project has been approved by the imec Executive Board (and will be executed).

                                                           imec.icon manual (English) 2019-1      11 / 24
3.3 CONFIDENTIALITY, RESUBMISSION,
    RECONSIDERATION, COMPLAINT
3.3.1 CONFIDENTIALITY
All staff members of imec and the involved researchers, the regional funding agencies, external experts
and members of the Board of Directors of VLAIO, Innoviris and imec are bound to keep all information
made available to them confidential and will not provide any of that information to third parties or use
it for their own benefit. In case of a conflict of interest during the evaluation by a member of the panel,
the jury member will refrain from reading and evaluating the proposal.

3.3.2 RESUBMISSION
In case of a rejected abstract or full proposal, a reworked project idea can be submitted in a next
call, on the condition of a feedback meeting and an approved side letter. A side letter contains a
description of the most important changes between this submission and the previous one (what shall
be added/deleted/clarified w.r.t. the previous project idea). This letter has to be submitted to the
imec.icon program lead before the feedback meeting, and afterwards needs to be uploaded on the
MyProjects platform (same deadline as abstract submission). For more details see the abstract
template on the imec website.

If an imec.icon project is rejected, external partners who had requested funding through the
imec.icon project are free to apply for funding with the regional funding agencies for a regular
industrial project that is not linked to an imec.icon project.

3.3.3 RECONSIDERATION
As for the abstract, there can be no requests for reconsideration.

                                                            imec.icon manual (English) 2019-1        12 / 24
As for the full proposal: via the proposal manager the consortium can request to reconsider an
application that has been rejected by the imec Executive Board, in which case the Executive Board
will decide on the reconsideration during the next imec.icon call.

This request for reconsideration has to be submitted within 30 working days following the Board’s
decision and must be based on clear and verifiable elements. These can be elements that, according
to the applicants, were not appraised in a correct manner, or relevant additional information that did
not reach imec/the regional funding agencies in time, or important adjustments in response to the
comments. The new elements have to be significant enough to reconsider the decision. The imec
Executive Board will report on the status of the reconsideration within 75 working days following
receipt of the request for reconsideration. This period will be extended by an additional 30 working
days if new external experts have to be consulted. The results of a possible reconsideration can only
be implemented within the framework of a next imec.icon call.

The innovation goal cannot be changed in a request for reconsideration. If the innovation goal has
been altered thoroughly, a new application can be submitted (at a next abstract deadline) which will
be subject to the same terms and conditions, including the terms with respect to the start date and
the period for justification of costs.

3.3.4 COMPLAINT
In case applicants are dissatisfied with the way their application was handled, the consortium can
submit a written or electronic complaint via the proposal manager. Complaints will be dealt with
within 45 days following receipt.

                                                          imec.icon manual (English) 2019-1     13 / 24
4 FINANCING MODEL
4.1 MINIMUM CONTRIBUTION OF 50% OF THE TOTAL
    PROJECT COST BY THE EXTERNAL PARTNERS
The joint contribution by the external partners with funding in the project must be more than the
joint contribution of the research partners for the total duration and implementation of the project5.
Apart from a contribution of manpower and operation costs, the contribution of external partners
can also be “out-of-pocket”. This can be either a financial contribution or a contribution in kind. A
contribution in kind can be e.g. making equipment or a staff member from the company available for
joint project research in the Research groups (so-called “residents”). Should the “out-of-pocket” cost
consist of capital equipment, a separate agreement must be drawn up to cover this.

Only the imec research in the project will be funded by imec.

4.2 THE COST MODEL
Approved project costs consist of personnel expenses (personnel expenses and PhD grants for
research institutions) on the one hand and operational costs on the other hand. For operational costs
we distinguish between direct and indirect costs.

For the external partners, the cost model of the applicable regional funding agency applies in full.

VLAIO:
         https://www.vlaio.be/sites/default/files/2017-11/innovatiesteun_kostenmodel_jan2016.pdf

Innoviris:
         For research: http://www.innoviris.be/nl/financiele-steun-aan-ondernemingen/brusselse-
         programmas/explore-industrial-research

         For development: http://www.innoviris.be/nl/financiele-steun-aan-ondernemingen/brusselse-
         programmas/shape-experimental-development

For the Research groups funded by imec, the VLAIO cost model is used as a basis (for personnel
costs, not for operational costs). The operational costs are limited to maximum 35% of the personnel
costs, while the indirect costs cannot exceed 20% of the personnel costs. For the operational cost for
PhD grants the 35 % will be calculated based on the personnel cost for a junior researcher. For the
imec research part, PhD grants CAN be taken into account, in accordance with VLAIO rules for SBO6
projects.

5 When calculating the balance, strategic research centers Flanders Make, VIB and VITO need to be left out of
account
6 Strategic Fundamental Research

                                                               imec.icon manual (English) 2019-1         14 / 24
4.3 SUBCONTRACTING
Subcontractor costs can be accepted as direct costs in the project, but research activities can never
be subcontracted, either in part or in full, without the prior written consent from imec.

This consent is a.o. not necessary for routine tasks that are not part of the core components of the
project and that are not taken on directly by one of the partners (i.e. routine testing, development of
part of a prototype, part of the programming, etc.). For more information please contact an Innovation
Manager.

For non-routine tasks, please contact your Innovation Manager.

Subcontracting between project partners is not permitted.

Companies can only operate as subcontractors in a project when they are not participating at their
own risks, when they have no valorization rationale and when they don’t acquire intellectual property.

                                                             imec.icon manual (English) 2019-1   15 / 24
5 AGREEMENTS CONCERNING
  COOPERATION
5.1 THE IMEC.ICON COLLABORATION AGREEMENT
    (CA)
The imec.icon Collaboration Agreement covers all practical rules concerning collaboration, financing,
confidentiality, IPR rules, reporting and some other rights and obligations between the partners in the
consortium. Moreover, the Collaboration Agreement is an essential condition for activating the
Funding Agreement of the regional funding agency (see below). At the same time, the partners in the
consortium commit themselves to their intended efforts by means of the Letter of Intent, regardless
of whether the regional funding agency will grant funding.

In the imec.icon Collaboration Agreement the intellectual property rights (Article 8) are defined in
such a way, they are in line with the ICON decree and the “Handbook of Responsible Partnering”
from the European Commission. In general, the IPR arrangement can be outlined as follows:

Principles of ownership
   - Background = ownership of contributing party
   - Foreground from own work = ownership of generating party
   - Foreground from work of one or more knowledge institutions = ownership knowledge
       institution(s) + co-ownership imec
   - Foreground of which the contribution of the related project partners cannot or cannot
       properly be separated = co-ownership by the related project partners

Principles of co-ownership

    -   Every co-owner owns the non-exclusive right to exploit co-ownership and grant non-exclusive
        licenses to third parties without consent from or compensation to other co-owners (“without
        accountancy”)
    -   Protection (e.g. Patent) is arranged in consultation
    -   Damage claim for breaches is arranged in consultation

Access rights

    -   Listing Background/Sideground through positive list
    -   Criterion = “needed for valorization of the own foreground ”
    -   Granted after written motivated request unless granted through an agreement
    -   Non-exclusive and worldwide
    -   No transfer costs
    -   Rights expire 2 years after termination of the project

                                                          imec.icon manual (English) 2019-1      16 / 24
-   Negotiation on conditions should be in writing and within 2 years following termination of the
        project. Patent application can extend this term to a maximum of 6 months after publication
        of the search report
    -   Connected entities have equal access rights

Schematic representation of ownership and access rights

                       Each partner is and remains sole owner of own Background, Sideground en Foreground
 Ownership             Co-ownership only when the contribution to the Foreground cannot or cannot properly be
                       separated. Co-ownership between all parties that contributed
 Access       rights
 necessary       for   Background/Sideground/Foreground: free of charge
 project execution
                       Same work package                        Different work package

 Access rights when
                                                                Back&Sideground:     Reasonable    and   non-
 necessary for         Back & Sideground: Favorable
                                                                discriminatory
 exploitation/use of   Foreground: Free of charge
                                                                Foreground: Favorable
 own Foreground

Specific agreements on:

    •   Access rights to Software
    •   Access rights to Object code and/or API
    •   Access rights to Source code
    •   Open Source Software policy
    •   Admission of Party after start of project
    •   Excluded or withdrawn Party

The signing of the imec.icon Collaboration Agreement within 4 months following the start of the
project is a condition for the acceptance of project costs of the imec.icon project by both imec and
regional funding agencies.

5.2 THE FUNDING AGREEMENT
5.2.1 FUNDING AGREEMENT FROM VLAIO
With respect to project-specific conditions, the VLAIO Funding Agreement with the lead partner will
be co-signed by imec as coordinator of the imec.icon project. Although imec does not receive funding
from VLAIO, imec has to co-sign because of the mutual reporting requirements of each partner and
to keep an eye on the mutual IPR agreement within the consortium.

It is recommended that the project leader in the imec.icon project is also the lead partner in the
VLAIO Funding Agreement in order to ensure an optimal flow of information and reporting.

                                                               imec.icon manual (English) 2019-1         17 / 24
The imec.icon Collaboration Agreement is a condition sine qua non for the VLAIO Funding Agreement
and shall be signed by the partners in the consortium within 4 months following the signing of the
funding agreement.

5.2.2 INNOVIRIS FUNDING AGREEMENT
With respect to project-specific conditions, the Innoviris Funding Agreement with the lead partner
will be co-signed by imec as coordinator of the imec.icon project. Although imec does not receive
funding from Innoviris, imec has to co-sign because of the mutual reporting requirements of each
partner and to keep an eye on the mutual IPR agreement within the consortium.

It is recommended that the project leader in the imec.icon project is also the lead partner in the
Innoviris Funding Agreement in order to ensure an optimal flow of information and reporting.

The imec.icon Collaboration Agreement is a condition sine qua non for the Innoviris Funding
Agreement and shall be signed by the partners in the consortium within 4 months following the signing
of the funding agreement.

                                                         imec.icon manual (English) 2019-1     18 / 24
6 REPORTING
6.1 IMEC.ICON STATUS REPORT – PROGRESS REPORT
The imec.icon status reports describe the progress of the project. The project leader submits the
reports to imec on a 6-monthly basis by using the MyProjects platform. imec will pass on the report
to the regional funding agencies where they will regard this as a progress report in case of funding.

Within the scope of granted regional funding, the regional funding agency may implement
supplementary conditions concerning reporting. These conditions will be stipulated in the funding
agreement of the regional funding agency.

Status reports – Terms:
    - On project level
    - At least once every 6 months
    - Using MyProjects
    - By the project leader
    - imec will forward to the regional funding agency

6.2 STEERING GROUP MINUTES
The project steering group will meet at least once every six months. The project leader will submit
the minutes of this meeting to imec via MyProjects.

Steering Group Minutes – Terms:
   - On project level
   - At least once every 6 months
   - By the project leader
   - Using MyProjects
   - imec will not forward to the regional funding agency

6.3 YEARLY FINANCIAL REPORTS
All partners must submit a financial report including effort tracking per calendar year.

On 31st January of each year at the latest each partner must submit a financial report using the
MyProjects platform. This report contains a detailed breakdown of used resources and people. The
Research groups will receive an Excel document provided by imec for their reporting. Only actual
costs in accordance with the cost model are eligible.

6.4 END REPORT
The end report must be submitted to imec via MyProjects within 2 months following the end of the
project.

                                                           imec.icon manual (English) 2019-1   19 / 24
This end report contains collective and individual reporting:

−   a collective narrative (content) report;
−   individual valorization reports, both for Research groups and partners.
    Partners receiving VLAIO funding have the possibility to submit this part directly to VLAIO if it
    contains confidential information that cannot be shared with other partners.

Overview of the sections of the final report:

                                    Content                          What

                    Section I Collective report                 1 doc/project

                    Section II Individual valorization report
                                                              1 doc/partner
 Final report       for Companies

                    Section III Individual valorization report 1 doc/research
                    for Research groups                        group

The final report needs to be submitted via MyProjects.

As regards the financial reporting, the Research groups and the partners have to make sure they
have delivered all yearly financial reports to imec (see 6.3). No additional report needs to be
submitted to the regional funding agency.

The end report is only admissible after all parts have been handed in.

6.5 OVERVIEW REPORTING
                                          Steering         Yearly financial
                Status report                                                                 Final report
                                   committee minutes            report
              Report regarding     Meeting reports of                                 Report regarding
What                                                   Financial and PM report
              content              Steerco                                            content
                                                       Each calendar year + no        No later than 2
              Min. every 6
When                               Min. every 6 months later than 2 months            months after project
              months
                                                       after project end              end
                                                       imec groups: Excel
How           MyProjects           MyProjects                                         MyProjects
                                                       Others: MyProjects
Submitted     Project lead – one   Project lead – one  Financial responsible -        1 collective report + 1
by            report per project   report per project  one report per partner         report per partner
The                                                    imec transfers to the
              imec transfers to    No transfer to the                                 imec transfers to the
regional                                               regional funding agency
              the regional         regional funding                                   regional funding
funding                                                for companies with R&D
              funding agency       agency                                             agency
agency                                                 funding

                                                          imec.icon manual (English) 2019-1              20 / 24
7 PRACTICAL GUIDELINES FOR
  APPLICATION
7.1 DEVELOPING AN IMEC.ICON IDEA
If you have a project idea, the best thing to do is to contact imec (icon@imec.be). They will give you
more information on the imec.icon program and they will refer you to the relevant collaborators
within the Research groups. In case of specific questions on the application for funding, preliminary
discussions with the regional funding agency can be organised.

7.2 SUBMITTING AN EXTENDED ABSTRACT
An extended abstract consists of multiple elements (see table in the abstract template). Some of the
information needs to be submitted directly in the MyProjects platform, other information needs to
be uploaded on the MyProjects platform in the form of a .doc or .pdf document.

The proposal must be submitted in English because of the international referees.

7.3 SUBMITTING A FULL PROPOSAL
The proposal must be submitted in English because of the international referees.

The following parts have to be translated into Dutch as well:
   - The title
   - The management summary
   - The innovation goals

An imec.icon proposal must be submitted by a consortium of companies and institutions, the proposal
manager/submission coordinator will be responsible for the consistency of the application file. The
imec.icon proposal should be submitted using the MyProjects platform. imec.icon proposals including
an application for partial funding by individual external partners must be submitted to imec. However,
imec will not serve as intermediary for VLAIO R&D funding applications that are not linked to an imec
imec.icon proposal. These latter types of applications should be addressed to the regional funding
agencies directly.

As imec is responsible for the eligibility assessment of the proposals, all components should be
submitted to imec. This implies that failure by one of the partners to submit a document can lead
to imec blocking the complete file.

The imec.icon proposal consists of a number of sections. The table below lists who should complete
which sections and how it should be submitted. The proposal will only be eligible once all required
sections have been submitted.

                                                          imec.icon manual (English) 2019-1     21 / 24
Next to the general part, which is being submitted by the proposal manager, the proposal also contains
a number of sections that have to be submitted by the individual partners directly. It is therefore
crucial that the naming of the files be consistent.

The following guidelines should be observed.

7.4 LETTER OF INTENT AND CONFIDENTIALITY
    AGREEMENT
The application (full proposal) can only be eligible when every party has submitted a signed Letter of
Intent based on the imec template (see www.imec-int.be). When submitting an extended abstract, no
letter of intent is needed.

A PDF copy of the signed document must be uploaded on the MyProjects platform. Submission of the
Letter of Intent is subject to the same deadline as submission of the proposal.

Preceding the signing of the LoI, the partners can protect the preparatory proposal discussions by
signing an NDA. For this purpose, you can use an imec-template NDA that you can request at
icon@imec.be.

                                                          imec.icon manual (English) 2019-1     22 / 24
8 QUESTIONS
If you have any further questions about this manual, please contact imec (icon@imec.be), Innoviris
(smaas@innoviris.irisnet.be) or VLAIO (Veerle.desmet@vlaio.be).

                                                         imec.icon manual (English) 2019-1     23 / 24
You can also read
NEXT SLIDES ... Cancel